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TC 1600 Biotechnology and Pharmaceutical
Customer Partnership Meeting
John Doll - Commissioner for Patents
November 10, 2005November 10, 2005
22
Contact InformationContact Information
John Doll
Commissioner for Patents
e-mail: [email protected]
Phone: 571 272 8800
Application FilingsApplication Filings andand
Examiner ProductionExaminer Production
44
UPR Applications FiledUPR Applications Filed
FY 05 plan 375,080
(7% above FY 04)
383,000 as of 10/30/05 (preliminary)
Current projection1.7% over plan
0
50000
100000150000
200000
250000
300000350000
400000
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
55
FY 04FY 05 Target
FY 05
UPR1 FAOM2 288,315 297,614 297,287
UPR Disposals3 287,188 295,456 279,345
UPR Production Units4 287,752 296,535 288,316
PCT Production Units5 16,882 22,916 15,147
ProductionProduction
1 “UPR” = Utility, Plant, and Reissue Applications.2 “FAOM” = First Action on the Merits – first action count by an examiner after the filing of an application (does not include
restrictions or other miscellaneous actions).3 “Disposal” = An examiner allowance, abandonment, or disposals following a board decision.4 “Production Unit” = First action count plus disposal count divided by 2.5 “PCT” = Patent Cooperation Treaty. PCT applications are processed differently and tracked separately from US National stage
applications. For FY 05, 15,147 PU’s is 35,389 processed applications.
. . . vs the Backlog. . . vs the Backlog
PENDENCYPENDENCY
77
FY 05 Patent PendencyFY 05 Patent Pendency (as of 10/1/2005) (as of 10/1/2005)
Technology CenterAverage 1st Action
Pendency (months)1Average Total
Pendency (months)2
1600 - Biotechnology and Organic Chemistry 23.0 32.3
1700 - Chemical and Materials Engineering 19.7 29.7
2100 - Computer Architecture Software and Information Security 32.7 43.5
2600 – Communications 30.5 42.3
2800 - Semiconductor, Electrical, Optical Systems 14.5 24.9
3600 - Transportation, Construction, Electronic Commerce 18.4 26.9
3700 - Mechanical Engineering, Manufacturing and Products 18.3 26.3
UPR Total (as of 10/1/2005) 21.1 29.1
FY 05 Target 20.7* 31.01 “Average 1st action pendency” is the average age from filing to first action for a newly filed application, completed during July-September FY 2005.2 “Average total pendency” is the average age from filing to issue or abandonment of a newly filed application, completed during July-September FY 2005.* Assuming current input and output estimates, the agency should achieve first action pendency of 21.3 months by the end of FY 2005 and total pendency of 30.2 months.
88
First Action Pendency by Art AreasFirst Action Pendency by Art Areas
High Pendency Art AreasPendency
1
(months)Low Pendency Art Areas
Pendency1
(months)1640 – Immunology, Receptor/ Ligands, Cytokines, Recombinant Hormones, and Molecular Biology
27.41620 – Heterocyclic Compounds and Uses
16.1
1764 – Distillation, Mineral Oil and Hydrocarbons
28.7 1752 – Radiation Imagery 11.6
2123 – Simulation and Modeling, Emulation of Computer Components
41.62125 – Manufacturing Control Systems and Chemical/ Mechanical/Electrical Control
21.4
2617 – Interactive Video Distribution 45.32636 – General Electrical Communication
18.2
2836 – Control Circuits 25.6 2833 – Electrical Connectors 8.0
3628 – Finance & Banking, Accounting 48.4 3643 – Animal and Plant Husbandry 11.8
3762 – Body Treatment, Kinestherapy, and Exercising
27.5 3742 – Thermal Combustion Technology 10.6
1 “Average 1st action pendency” is the average age from filing to first action for a newly filed application, completed during
July-September FY 2005.
99
Inventory by Art ExamplesInventory by Art Examples
High Inventory Art AreasMonths of Inventory*
Low Inventory Art AreasMonths of Inventory*
1614, 1615, and 1617 – Drugs, Bio-affecting and Body Treatment
57-65 1620 – Organic Chemistry 18
1753 – Radiation Imagery 391734 – Adhesive Bonding and Coating Apparatus
13
2127 – Computer Task Management 542125 – Manufacturing Control Systems and Chemical/ Mechanical/Electrical Control
13
2611 – Interactive Video Distribution 882651, 2653 – Information Storage and Retrieval
14
2836 – Control Circuits 42 2831 – Electrical Conductors 8
3620 – Business Methods 27 – 106 3651 – Conveying 11
3731 and 3737 – Medical Instruments, Diagnostic Equipment
44-513742 – Thermal and Combustion Technology
8
*The number of months it would take to reach a first action on the merits (e.g., an action addressing patentability issues) on a new application filed as of Jan 2005 at today’s production rate. Today’s production rate means that there are no changes in production due to hiring, attrition, changes to examination processing or examination efficiencies, and that applications are taken up in the order of filing in the given art unit/area. Of course, USPTO is taking aggressive steps to ensure changes that will significantly lower the inventory rates in high-inventory art areas.
1010
1600 1700 2100 2600 2800 3600 3700 Total* Design
New Applications1 9/30/2004
55,402 63,923 71,778 97,380 77,651 56,738 65,005 508,878 18,451
New Applications1
9/30/200562,644 72,697 76,529 115,585 94,425 70,354 83,225 586,580 24,056
Overall Pending Applications2
9/30/200495,006 105,447 102,440 138,822 137,458 101,097 108,039 809,323 27,599
Overall Pending Applications2
9/30/2005107,647 120,767 117,728 167,721 159,687 117,045 130,168 932,300 37,607
TC Application InventoryTC Application Inventory
1 “New Application inventory” is the number of new applications designated or assigned to a technology center awaiting a first action.
2 “Overall Pending Application inventory” is the total number of applications designated or assigned to a technology center in an active status. Includes new applications; rejected awaiting response; amended; under appeal or interference; suspended; reexams and allowed applications awaiting grant publication.
*Total inventory includes applications not assigned to a particular TC, awaiting processing either pre- or post-examination.
1111
Pendency AchievedPendency Achieved
05
1015202530354045
Corps 1600 1700 2100 2600 2800 2900 3600 3700
First Action Pendency Overall Pendency
Target 30.2 MonthsTarget 30.2 Months
Target 21.3 MonthsTarget 21.3 Months
Patent QualityPatent Quality(Shared Responsibility)(Shared Responsibility)
1313
Quality of Products – FY 05Quality of Products – FY 05
Fiscal Year 2005
FY 04 1600 1700 2100 2600 2800 3600 3700Desig
nFY 05 FY 05
Target
Patent In-Process
Examination Compliance
Rate1*
82.0% 81.7% 82.9% 88.1% 84.7% 90.9% 84.4% 86.6% 94.3% 86.2% 84.0%
Patent Allowance Error Rate2*
5.32% 4.88% 6.46% 3.56% 2.25% 4.43% 4.94% 6.43% 1.6% 4.55% 4.0%
*Compliance and error rates as measured by OPQA. *Compliance and error rates as measured by OPQA. 1Compliance is the percent of office actions reviewed and found to be free of any in-process examination deficiency (an error that has significant adverse impact on patent prosecution).
2Patent allowance error rate is the percent of allowed applications reviewed having at least one claim which is considered unpatentable on a basis for which a court would hold a patent invalid. “Allowance” occurs before a patent is issued, so these errors are caught before any patent is actually granted.
1414
Percent of Allowed Applications Percent of Allowed Applications with Material Defectwith Material Defect
0.00%
1.00%
2.00%
3.00%
4.00%
5.00%
6.00%
7.00%
Corps 1600 1700 2100 2600 2800 2900 3600 3700
Target 4%Target 4%
Re-WorkRe-Work
1616
Technology Centers Rework* StatisticsTechnology Centers Rework* Statistics
* Rework first actions are those actions that are in a Continuing (CONs and CIPs), RCE, CPA or 129(a) applications (excludes Divisionals).
FY 2002 FY 2003 FY 2004 FY 2005TC
Summary% FAOM Rework
% FAOM Rework
% FAOM Rework
% FAOM Rework
1600 36.4% 39.7% 40.3% 42.4%1700 25.2% 26.9% 27.1% 28.0%2100 23.9% 24.0% 24.6% 28.2%2600 24.8% 24.1% 24.3% 25.4%2800 19.1% 22.0% 24.9% 24.1%3600 17.7% 21.2% 23.1% 28.5%3700 22.2% 25.1% 24.0% 28.1%
UPR 23.2% 25.3% 26.1% 28.3%
Hiring andHiring and
Retention Retention
1818
Hires and AttritionsHires and Attritions
1600 1700 2100 2600 2800 3600 3700 Corps Design
FY 04 Hires 75 35 115 116 31 26 45 443 15
FY 04 Attritions 30 26 58 82 58 43 39 336 4
FY 05 BOY Examiner Staff
417 440 563 658 742 422 439 3681 72
FY 05 Hiring (10/1/05) 101 58 225 169 184 91 131 959 19
FY 05 Attrits (10/1/05) 42 39 93 92 54 55 50 425 10
FY 05 Hiring Goal 100 35 200 150 160 90 125 860 20
New Hires as a Percent of Examiner Staffing in the TC
24% 13% 40% 26% 25% 22% 30% 26% 26%
1919
0.00%
2.00%
4.00%
6.00%
8.00%
10.00%
12.00%
14.00%
TC1600
TC1700
TC2100
TC2600
TC2800
TC2900
TC3600
TC3700
Corps
FY 05 Attrition of Average StaffFY 05 Attrition of Average Staff
Pendency ProjectionsPendency Projections
Pendency Reduction Action Plan
10.0
20.0
30.0
40.0
50.0
1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010
Fiscal Year
Pe
nd
en
cy
Historic Without Strategic Plan
Pendency Reduction Action Plan
10.0
20.0
30.0
40.0
50.0
1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010
Fiscal Year
Pen
den
cy
Historic Without Strategic Plan 1,000 Hires & Low Attrits
Pendency Reduction Action Plan
10.0
20.0
30.0
40.0
50.0
1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010
Fiscal Year
Pen
den
cy
Historic Without Strategic Plan 1,000 Hires & Low Attrits Plus Claims & Continuation Limits
Pendency Reduction Action Plan
10.0
20.0
30.0
40.0
50.0
1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010
Fiscal Year
Pe
nd
en
cy
Historic Without Strategic Plan 1,000 Hires & Low Attrits Plus Claims & Continuation Limits Plus Patentability Report
ProductionProduction
2727
Stats and StuffStats and Stuff
2929
Continuation* Applications FiledContinuation* Applications Filed
0
5,000
10,000
15,000
20,000
25,000
2002
2003
2004
2005
1 Con 2 or more Con
*Straight Continuations 37 CFR *Straight Continuations 37 CFR §§1.53 (b)(1) – No Divisionals or CIPs – as of 10/23/051.53 (b)(1) – No Divisionals or CIPs – as of 10/23/05
3030
RCE/CPA Filing RatesRCE/CPA Filing Rates
0
10,000
20,000
30,000
40,000
50,000
2002
2003
2004
2005
1 CPA/RCE 2 or more CPA/RCE
as of 10/23/05as of 10/23/05
3131
Total Continuation Filing RatesTotal Continuation Filing Rates
0
10,000
20,000
30,000
40,000
50,000
2002
2003
2004
2005
1 CPA/RCE 1 Con* 2 or more CPA/RCE 2 or more Cons*
*Straight Continuations 37 CFR *Straight Continuations 37 CFR §§1.53 (b)(1) – No Divisionals or CIPs – as of 10/23/051.53 (b)(1) – No Divisionals or CIPs – as of 10/23/05
3232
Total Continuation* Filing RatesTotal Continuation* Filing Rates
010,00020,000
30,00040,000
50,00060,00070,000
2002
2003
2004
2005
First Continuation Total Subsequent Continuations
*Continuation = Straight Continuations 37 CFR *Continuation = Straight Continuations 37 CFR §§1.53 (b)(1) + RCE + CPA – Not Divisionals or CIPs1.53 (b)(1) + RCE + CPA – Not Divisionals or CIPsas of 10/23/05as of 10/23/05
3333
Continuation Filing RatesContinuation Filing Rates
0
20,000
40,000
60,000
80,000
100,000
120,000
FY80
FY82
FY84
FY86
FY88
FY90
FY92
FY94
FY96
FY98
FY20
00
FY20
02
FY20
04
Continuations (CON, CPA/RCE, DIV) CIPs
3434
Continuation Filing RatesContinuation Filing Rates
0
20,000
40,000
60,000
80,000
100,000
FY80
FY82
FY84
FY86
FY88
FY90
FY92
FY94
FY96
FY98
FY20
00
FY20
02
FY20
04
Continuations (CON, CPA/RCE) CIPsAs of 10/24/2005As of 10/24/2005
3535
Distribution of Independent Claims at FilingDistribution of Independent Claims at Filing
0%
10%
20%
30%
40%
50%1
2~3
4~6
7~10
11~2
0
21+
FY 2004 FY 2005
3636
TC 1600 Distribution of Independent Claims TC 1600 Distribution of Independent Claims at Filingat Filing
0%
10%
20%
30%
40%
50%1
2~3
4~6
7~10
11~2
0
21+
FY 2004 FY 2005
3737
Distribution of Total Claims at FilingDistribution of Total Claims at Filing
0%
10%
20%
30%
40%
1~10
11~2
0
21~2
5
26~3
0
31~4
0
41~5
0
51~6
0
61~1
00
101+
FY 2004 FY 2005
3838
TC 1600 Distribution of Total Claims at TC 1600 Distribution of Total Claims at FilingFiling
0%
10%
20%
30%
40%
1~10
11~2
0
21~2
5
26~3
0
31~4
0
41~5
0
51~6
0
61~1
00
101+
FY 2004 FY 2005
3939
Total Claims at Filing and IssueTotal Claims at Filing and Issue
0
3,000,000
6,000,000
9,000,000
FY 1990 FY 1999 FY 2004
0
8
16
24
Claims Filed Claims Issued Average Claims Filed
4040
Distribution of the Number of Distribution of the Number of References Cited in ApplicationsReferences Cited in Applications
0500
1,000
1,5002,000
2,5003,0003,500
Non
e
1~3
4~5
6~10
11~2
0
21~3
0
31~4
0
>40
Markush PracticeMarkush Practice
4242
1.1. A cell adhesion protein of formula (1), A cell adhesion protein of formula (1),
A-(B)-(C)-(D)A-(B)-(C)-(D)nn-E-E
or a pharmaceutically acceptable or a pharmaceutically acceptable derivative thereof , wherein . . .derivative thereof , wherein . . .
Accelerated ExaminationAccelerated Examination
Would You Like Your PatentWould You Like Your Patent
In 12 Months ?!?In 12 Months ?!?
4444
Accelerated ExaminationAccelerated Examination
• Features of the proposed revision:Features of the proposed revision:
Move to the head of the lineMove to the head of the line Final Disposition within 12 monthsFinal Disposition within 12 months
Program for expedited Issuance of PatentsProgram for expedited Issuance of Patents e-file application and all follow on paperse-file application and all follow on papers Single InventionSingle Invention Limited Number of ClaimsLimited Number of Claims Patentability ReportPatentability Report Possible Interview before 1Possible Interview before 1stst Action Action Shortened Statutory PeriodShortened Statutory Period Enforcement of special status in the Corps Enforcement of special status in the Corps
4545
Contact InformationContact Information
John Doll
Commissioner for Patents
e-mail: [email protected]
Phone: 571 272 8800
